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Jeremy O’Brien: Morgan Stanley Denies $300K Complaint

Melville, New York financial advisor Jeremy O’Brien (CRD# 2354870) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Morgan Stanley.

Mr. O’Brien’s BrokerCheck report discloses one investor complaint. Filed in March 2024, it alleged that as a representative of Morgan Stanley, he recommended an unsuitable purchase of Republic National Bank stock. The complaint alleged damages of $100,000 and was denied by the firm.

Morgan Stanley’s website includes a profile of Mr. O’Brien in which he describes his mission to serve clients and ensure their financial independence. “The number and diversity of investment choices available today are simply staggering,” he writes in a section describing his work with clients. “The days of just buying and holding stocks, bonds, or mutual funds are very much in the past. Investment practices today call for a high level of understanding and knowledge of dozens of asset classes. Broad diversification is the name of the game to help protect against the market volatility that currently characterizes the market.”

According to the Financial Industry Regulatory Authority, Jeremy O’Brien holds 30 years of securities industry experience. Based in Melville, New York, he has been registered as a broker and an investment advisor with Morgan Stanley since 2009 and 2020, respectively. His past registrations include Citigroup Global Markets (Melville, New York; 2003-2009) and UBS Financial Services (Weehawken, New Jersey; 1994-2003). His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Arizona, California, Colorado, Connecticut, Florida, Georgia, Maine, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Oklahoma, Pennsylvania, South Carolina, Tennessee, Texas, and Virginia. (Information current as of May 31, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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